Item Requirement E Guidance / verification CAR OBS

POLICY 4.2
1 Is the policy appropriate to the nature and scale of the The policy should be consistent with a vision of the organisations future and should address the organisations
organisations activities 4.2 environmental' 'business risks' in a positive and effective manner. Note; Review policy statement and exercise
professional judgement.

2 Does the policy make a commitment to continual Societal expectations are increasing the pressure on organisations to reduce the risk of illness, accident, incident as well
improvement as any adverse environmental impacts. Note; Continual improvement may only be one element of the management system as
4.2 oppose to continuous improvement which implies all elements of the system must be improving. Note; Review intent in
policy and core document(s) and exercise professional judgement about continual improvement.

3 Does the policy make a commitment to comply with
statutory requirements and other criteria to which the
4.2
organisation subscribes.
Organisations are expected to conform to applicable environmental legislation and other contractual obligations (I.e.
Railway group and line standards). The policy statement is a public acknowledgement by the organisation that it has a duty
to conform to, if not exceed, such legislation. Note; Review intent in policy and check if a listing or register of legislation
is in place.

4 Does the policy make a commitment to prevent pollution The organisation should make a commitment to prevent pollution within the policy and drive this commitment through all
levels of the organisations. If the organisation are found to causing pollution, directly or indirectly they may be held liable
4.2 by regulatory bodies. This can have a big impact on the reputation of the company and could ultimately affect future work.
Note; Review intent in policy and check what programmes are in place to prevent pollution.

5 How is the policy documented, implemented and In order for the policy to be effective, it should be documented and be periodically reviewed for continuing adequacy, and
maintained. 4.2 amend and revised when and where applicable. Note; Review policy statement for intent and check when the document was
last updated.

6 How is the policy communicated to all employees to The involvement and commitment of employees is vital for successful environmental management. Employees (at all levels,
ensure they understand their environmental including management) are unlikely to be able to make an effective contribution to environmental management unless they
4.2 understand their responsibilities and are competent to perform their required task.
responsibilities.

7 What arrangements are in place for ensuring the policy
is available to interested parties
4.2
Every organisation has interested parties, each having needs and expectations. Interested parties includes; customers and
end-users, people in the organisation, owners/investors, suppliers and partners, regulatory bodies and society in terms of
the community and the public affected by the organisation or its products. A process should exist to communicate the
policy on request to interested parties, but need not necessarily provide for unsolicited copies. Note; Review policy and
other core document(s) for intent and check evidence of communication via the communication / correspondence log.

8 How often is the policy reviewed to ensure it remains Change is inevitable, legislation evolves, societal expectations increase and the company may change direction to remain
relevant and appropriate to the organisation competitive. Consequently, the organisations policy and management system needs to be reviewed regularly to ensure their
4.2 continuing suitability and effectiveness. Note; review intent in policy or core documents and check when policy was last
revised.
Item Requirement E Guidance / verification
PLANNING - Environmental Aspects & Hazard 4.3
identification, Risk assessments and Risk Control
1 What are the environmental aspects of the organisations
activities products and services
E4.3.1
2 What arrangements are in place for identifying any
significant adverse environmental impacts.
E4.3.1
3 Does the working location require special consideration,
for example sensitive environmental areas.
E4.3.1
4 Have the environmental aspects and impacts been
communicated to those members of the workforce that
may be affected, along with mitigating control measures.
E4.3.1
CAR OBS
The organisation shall establish and maintain procedures to identify the environmental aspects of its activities,
products or services that it can control. Note; review intent in core document(s). Check if all aspects have been
determined in relation to the workscope.
The organisation shall establish and maintain procedures to identify the environmental aspects which will give rise
to significant adverse environmental impacts. Note; Review intent in core documents(s). Check if all impacts
(positive and negative) have been identified in relation to aspects - check aspects evaluation / environmental risk
assessments.
The organisation needs to carefully consider if the work-site location increases the potential likelihood or severity
of an environmental incident. Consider the impact effluent discharges, land contamination would have on local area
(rivers, AONB, SSSI).
The organisation should ensure that all of the environmental aspects and significant adverse environmental impacts
should be communicated to the entire workforce. Note; Review briefing records and interview members of the
workforce to determine their understanding and awareness.
Item Requirement E Guidance / verification CAR OBS
PLANNING - Legal and other requirements 4.3
1 How does the organisation identify and access relevant The organisation shall establish and maintain procedures to identify and access legal and other requirements which
and other requirements are applicable to the organisation. Consideration should also be given to; the benefits to interested parties from
exceeding compliance and the role of the organisation in the protection of community interests. Note; Review
intent in core documents and verify if a 'register' or listing of legislation has been identified.
E4.3.2

2 How does the organisation keep track of legal and other The organisation shall maintain procedures to ensure the organisation has a structured system in place for
requirements maintaining up to date with changing legislation. Note; review intent in core documents and check if registers or
documents have been updated.

E4.3.2

3 How does the organisation communicate relevant All of the legal and other requirements to which the organisation subscribes shall be communicated to the members
information on legal and other requirements to of the workforce that may be affected. The importance of meeting customer as well as statutory and regulatory
requirements should be clearly expressed to the entire workforce. This may be communicated via method
employees
statements or risk assessments. Note; review intent in core document(s) and check contents of risk assessments,
E4.3.2 method statements, briefings and any other communication medium.

4 What arrangements are in place for monitoring The organisation should identify who has responsibility for monitoring compliance with legal and other requirements.
compliance with legal requirements on site Note; review intent in core document(s) (job descriptions) and verify records of inspection / tours.

E4.3.2
Item Requirement E Guidance / verification
PLANNING - Objectives and Targets 4.3
1 Have objectives and targets been established with due
consideration of the SMART philosophy.
E4.3.3
2 How do objectives and targets reflect the policy and
significant environmental impacts associated with the
organisations activities or services
E4.3.3
3 How have the views of interested parties been
considered when establishing objectives and targets.
E4.3.3
4 How has the organisation communicated the objectives
and targets to ensure 'buy-in' from the workforce
E4.3.3
5 What indicators have been established for monitoring
performance against the objectives and targets on an on-
going basis
E4.3.3
CAR OBS
The organisation shall establish objectives and targets to meet the requirements of the policy. When establishing
objectives and targets an organisation should take into account the relevant findings from environmental reviews,
legal and other requirements, technological options, financial, business and operational requirements, accidents,
incidents, NCR's, etc. All objectives and targets should adopt the Specific, Measurable, Achievable, Realistic and
Time-based philosophy. Note; review intent in core documents and verify that objectives and targets are in place.
The objectives and targets should be developed to support the policy and key elements of the management system.
Note; review intent in core document(s) and check that the policy requirements are addressed in the objectives and
targets.
All objectives and targets should be established with due consideration of interested parties. This may include
Principal Contractor(s), Client(s), regulatory bodies, local community groups, employees, etc. Note; Review intent in
core documents and check communication log, minutes of meeting and other relevant communicating mediums.
To achieve the stated objectives and targets the entire workforce should be briefed on the objectives and targets
and their personal contribution in realising the objectives and targets. Note; review intent in core document(s) and
check briefing records.
To increase the chance of achieving the objectives and targets it is important that a monitoring regime is in place
to periodically check on performance. The organisation should identify a list of indicators and person(s) responsible
for monitoring the indicators.
Item Requirement E Guidance / verification CAR OBS
PLANNING - Management Programmes 4.3
1 What arrangements are in place for developing Note; Review intent in core document(s) for the development and implementation of environmental programmes.
environmental management improvement programmes

E4.3.4

2 What process is in place for reviewing the management
programmes to ensure they are appropriate in terms of
resources, responsibility, timing and priority.
E4.3.4
The management programmes should provide for the allocation of appropriate responsibility and authority for each
task and allocate time-scales to each task, along with sufficient resources to enable successful implementation.
Note; review management programmes to ensure they have clearly identified responsibility, time-scales and
resources.

3 How are the management programmes reviewed and at The programmes should be reviewed periodically, every 3 months for example to ensure performance is in line with
what frequency. the programme. Review intent in core document(s) and verify that the programmes are being monitored.

E4.3.4
Item Requirement
IMPLEMENTATION & OPERATION - Structure
& Responsibility
1 What arrangements have the organisation made to
establish the management system and report on the
performance of the management system to senior
management.
2 Have all members of the workforce been issued
environmental responsibilities.
3 What arrangements have the organisation made to
ensure sufficient resources have been provided.
4 How do senior managers provide visible demonstration of
their commitment to environmental management
E Guidance / verification CAR OBS
4.4
The organisation should appoint an environmental appointee form within the senior ranks of the organisation to take
ownership for the management systems. The management system appointee may be supported by other personnel
who have delegated responsibilities for monitoring the overall operation of the environment. Note; Review intent in
core document(s) and check organagrams and job descriptions for reference to responsibility for the management
E4.4.1 system(s).
All personnel whose work impacts on the environment should have specific roles and responsibilities. Senior
management shall ensure that all personnel receive and understand their roles and responsibilities. Note; Review
intent in core document(s) and check that job descriptions exist. Also, interview members of the workforce to
determine their understanding of their roles and responsibilities.
E4.4.1
The organisation should ensure that adequate resources are provided to ensure effective management of the
environment. Resources need to be expressed in terms of human, physical, and financial input. Note; review intent
in core document(s) and use judgement to determine if resources are sufficient.
E4.4.1
Managers should provide visible demonstration of their commitment to the environment. Means of demonstration
can include visiting sites, carrying out inspections, audits, participating in accident/incident investigations, providing
resources in the context of corrective actions and attendance at environmental meetings, conducting management
reviews and establishing policies and objectives. Note; review intent in core document(s) and verify records of
E4.4.1
inspection, audit, accident and incident and minutes of meetings.
Item Requirement E Guidance / verification CAR OBS

IMPLEMENTATION & OPERATION - Training, 4.4

Awareness and Competence
1 What arrangements are in place for determining All personnel should be competent to perform their task in a manner that does not impact on the environment - this
environmental competence needs. competence should extend to the subcontractor. Note; Review intent in core document(s) and check records of
competency assessment. Also, interview members of the workforce to ascertain their competence.

E4.4.2

2 What process is in place for training personnel who do The organisation should have procedures in place to ensure that training needs can be quickly identified and
not meet the required competence. actioned. Training programmes typically have the following elements; identification of training needs, development
of a training plan to address defined needs, verification of conformance of training programme to regulatory or
organisational requirements, training of target employee groups, documentation of training received and evaluation
E4.4.2 of training received. Note; review intent in core document(s) and check training plan and records of training.

3 How are individuals assessed to ensure they maintain the All members of the workforce should be continually assessed to ensure competence and awareness is maintained.
required knowledge and competency. Note; Review intent in core document(s) and verify by checking records of competence assessment.

E4.4.2

4 What records are maintained to demonstrate employee records should be maintained to demonstrate that personnel are competent to carry out their function in an
competence and training. effective manner. Note; Review intent in core documents and check evidence of training records.

E4.4.2

5 What arrangements are in place for evaluating the The effectiveness of training and the resulting level of competency should be evaluated. This can involve
effectiveness of training. assessment as part of the training exercise and / or appropriate field checks to establish whether competency has
been attained. Note; Review intent in core document(s) and verify if the effectiveness of training has been
assessed - check for records.
E4.4.2
Item Requirement E Guidance / verification CAR OBS

IMPLEMENTATION & OPERATION - Training, 4.4

Awareness and Competence
6 How are employees made aware of the significant At each relevant function of the organisation employees shall be made aware of the significant environmental
environmental impacts, actual or potential, of their work impacts and the benefits to be gained form improved environmental performance. Employees should also clearly
understand the potential consequences of deviating from the environmental management system. Note; Review
and the benefits of improved environmental
intent in core document and check records of briefing or training records.
performance. E4.4.2

7 How does the organisation encourage continuing personal The organisation should use all possibly means of encouraging employees to maintain their continuing professional
development. development. Note; Review intent in core document(s) and check records of training and development.

E4.4.2
Item Requirement E Guidance / verification CAR OBS

IMPLEMENTATION & OPERATION - 4.4

Communication and Consultation
1 What arrangements are in place for internal The organisation shall establish and maintain procedures for internal communication at levels of the organisation.
communication between the various levels and functions Note; review intent in core document(s) and check briefing records, notice-boards, flyers and any other applicable
communication channels.
of the organisation.
E4.4.3

2 What arrangements are in place for receiving, The organisation shall establish and maintain procedures for receiving, documenting, and responding to relevant
documenting and responding to relevant communication communication from interested parties. This may be done through an annual report, industry association
publications, the media, paid advertising or mail-shots and should clearly detail the service provided by the
from external interested parties.
organisation and / or product information. Note; Review intent in core document(s) and verify by checking
E4.4.3 communication log and evidence of correspondence.

3 How is environmental performance communicated to all Environmental performance should be communicated to all personnel in the organisation to maintain awareness,
the appropriate personnel in the organisation. motivate employees and help support the continual improvement process. Note; review intent in core document(s)
and verify by checking notice-boards, briefings, flyers, etc.

E4.4.3

4 How is the policy made available to the public. The organisation should he a system in place to make available the policy statement on request from members of the
public. Note; review intention core document(s) and check communication log for issue of policy.

E4.4.3

5 What initiatives are in place for encouraging employees To maintain employee awareness in the environment, the organisation should implement an incentive campaign.
to contribute suggestions about improving environmental Review intent in core document(s) and verify by interviewing members of the workforce.
performance.
E4.4.3
4.4.4/5
Item Requirement E Guidance / verification CAR OBS

IMPLEMENTATION & OPERATION - System
documentation & data control
1 Does the organisation have a process in place for
developing and maintaining management
documentation.
4.4
The organisation should ensure they develop system documentation line with he requirements of ISO 14001. For
system ease of use, the organisation can consider and maintaining a summary of the documentation to; collate the policy,
objectives and targets, describe the means of achieving objectives and targets, document the key roles,
E4.4.4 / responsibilities and procedures, provide direction to related documentation and describe other elements of the
4.4.5 organisations management system, and demonstrate that management system elements, which are appropriate to
the organisation, are implemented. Note; review evidence of management system elements.

2 How are management system procedures identified, All documentation should be dated (with dates of revision), readily identifiable, and integrated into the management
documented, communicated and revised. system. The organisation should ensure that; documents can be uniquely identified with the appropriate
organisations, divisions, function, activity or contact persons. All documents should be periodically reviewed, revised
E4.4.4 / as necessary and approved by authorised personnel prior to issue. Note; Review intent in core document(s) and
4.4.5 check that documents are suitably reviewed, revised and approved - check through examples of procedures.

3 How do employees access management system Employees should have access to the current versions of relevant documents at all locations where operations
documentation needed to conduct their job activities. essential to the effective functioning of the system are performed. Note; Review intent in core document(s) and
check that documents are available at work locations - risk assessments and method statements may incorporate all
E4.4.4 / information from procedures, so it may not be necessary to have actual procedures at work-face.
4.4.5

4 what arrangements are in place for removing obsolete The organisation should establish and maintain a system to ensure obsolete documents are promptly removed from
documents all points of issue or otherwise assured against unintended use. Note; Review intent in core document(s) and check
that the correct revision of the document are available.
E4.4.4 /
4.4.5
5 What arrangements are in place for retaining documents The origination should establish and maintain procedures to ensure that documents are maintained for knowledge
for knowledge based purposes. purposes. Note; Review intent in core document(s) and check preservation of documents- the documents should be
easily retrievable.
E4.4.4 /
4.4.5
Item Requirement E Guidance / verification CAR OBS

IMPLEMENTATION & OPERATION - 4.4

Operational control
1 What arrangements are in place for establishing and The organisation should consider the different operations and activities contributing to its significant
maintaining operational control environmental aspects. Such operations and activities may include: -

E4.4.6

Design
Purchasing
Handling and storage of raw materials
Production and maintenance processes
Storage of products
Transportation
Acquisition, construction or modification of property and facilities
Any input or output elements such as emissions, discharges and waste should be considered. Note; This is unlikely to
be audited a s a separate clause, however, any failure to meet internal or external (statutory) requirements would
result in operational control failure
Item Requirement E Guidance / verification CAR OBS

IMPLEMENTATION & OPERATION - 4.4

Emergency preparedness and response
1 What arrangements are in place to identify the potential
for, and response to, incidents and emergency situations.
E4.4.7
The organisation should develop and maintain an emergency response plan, clearly outlining the actions to be taken
when specified emergency situations arise. The plan should include the following; identification of potential
accidents, incidents and emergencies, identification of the person to take charge during an emergency, details of
actions to be taken by personnel during the emergency - including subcontractors and visitors, identification of the
required emergency equipment, responsibility and authority of personnel with specific roles during the emergency
(fire-wardens, first-aid staff, etc), site evacuation procedures, contact numbers, identification and location of any
hazardous materials, interface arrangements with external emergency services and combination with neighbours and
the public. Note; Review intent in core document(s) and check the content of the emergency plan(s).

2 How are emergency preparedness and response plans The results of practice drills and emergencies should be evaluated and where applicable corrective / preventive
updated. actions should be implemented. Note; Review intent in core document(s)(s) and check if plan has been updated as a
result of deficiencies in the plan.

E4.4.7

3 What arrangements are in place for periodic testing of
the plan to determine effectiveness.
E4.4.7
Practice drills should aim to test the effectiveness of the most critical parts of the emergency plan(s) and to test
the completeness of the emergency planning process. The practice drills should be carried out to a pre-determined
schedule. Where appropriate and practicable, the participation of external emergency services should be
encouraged. Note; Review intent in core document(s) and verify practice drills have been carried out by checking
records and interviewing members of the workforce.

4 How is the emergency plan communicated to the The emergency plan should be communicated to the entire workforce, who should gain a good understanding of the
workforce emergency arrangements. Note; review intent in core document(s) and verify by checking briefing records and
minutes of meeting.

E4.4.7
Item Requirement
CHECKING AND CORRECTIVE ACTION -
Performance Measurement & Monitoring
1 How is environmental performance monitored
E4.5.1
2 How are the results of performance measurement and
monitoring communicated to the workforce
E4.5.1
3 What arrangements are in place to calibrate and sample
measuring and monitoring equipment
E4.5.1
4 How do you monitor your customers' perception of your
performance in meeting their requirements.
E Guidance / verification CAR OBS
4.5
There should be a system in place for measuring, monitoring , analysing and improving actual environmental
performance of the objectives and targets, management systems, operational processes, including legislative
compliance. The measuring and monitoring may include pro-active and re-active monitoring, inspections, audits and
statistical or trend analysis. Note; Review intent in core documents and check records and reports to demonstrate
performance is being monitored.
The organisation shall establish and maintain systems for communicating the results of performance measurement
and monitoring to the entire workforce. Note; Review intent in core documents and verify by checking notice-
boards, briefings, meetings, flyers, etc.
Measuring equipment that is used to assess environmental conditions (e.g. sound meters, air samplers) should be
listed, uniquely identified and controlled. All equipment used for environmental measurement should be maintained
and stored in a proper manner. Calibration schemes should include the following items; the frequency of calibration,
reference to test methods, where applicable, identity of the equipment to be used for the calibration and action to
be taken when the specified measuring equipment is found to be out of calibration. In addition the organisations
shall assess and record the validity of the previous measuring results when the equipment is found not to conform to
requirements. The organisation shall take appropriate action on the equipment and any product affected. Records
of the results of calibration and verification shall be maintained. The calibration requirements should follow the
manufacturer's instructions. Note: Review intent in core document(s) and verify by checking calibration records.
Measurement and monitoring of customer satisfaction is based on review of customer-related information. The
collection of such information may be active or passive. Management should recognise that there are many sources
of customer related information, and should establish effective and efficient processes to collect, analyse and use
this information for improving the performance of the organisation. The organisation should identify sources of
customer and end-user information, available in written and verbal forms, from internal and external sources.
Examples of customer-related information include; customer and user surveys, feedback on aspects of product,
customer requirements and contract information, market needs, service delivery data and information relating to
competition. The organisation should establish and use sources of customer satisfaction information and should co-
operate with its customers in order to anticipate future needs.
Item Requirement
CHECKING AND CORRECTIVE ACTION -
Performance Measurement & Monitoring
5 What arrangements are in place for measuring and
monitoring the product.
6 How is the satisfaction of interested parties measured
and monitored
E Guidance / verification CAR OBS
4.5
The organisation should establish and specify the measurement requirements (including acceptance criteria) for its
products. The measurement of product should be planned and performed in order to verify that the requirements
of interested parties have been achieved and used to improve the realisation process. When selecting measurement
methods for ensuring the products conform to requirements and when considering customer needs and
expectations, the organisation should consider the following; the types of product characteristics, which then
determine the types of measurement, suitable measurement means, the accuracy required and skills needed, the
location of suitable measurement points in the realisation process sequence, characteristics to be measured at each
point, and the documentation and acceptance criteria to be used, customer established points for witness or
verification of selected characteristics of a product, inspections or testing required to be witnessed or performed
by statutory and regulatory authorities and final inspection to confirm that verification and validation activities
have been completed and accepted.
The organisation should identify the measurement information required to meet the needs of interested parties
(other than customers), in relation to the processes of the organisation in order to balance the allocation of
resources. Such information should include measurements relating to the people in the organisation, owners and
investors, suppliers and partners, as well as society.
Item Requirement E Guidance / verification CAR OBS

CHECKING AND CORRECTIVE ACTION -

4.5
Accidents, Incidents, NCR's and
corrective/preventive action
1 What systems are in place to detect and report potential The organisation shall develop procedures for prevetive action, which include; the use of appropriate sources of
NCR's and sub-standard practices information such as processes and work operations, customer complaints, audit / inspection reports, advice from
employees and trend data. Note; Review intent in core document(s) and check evidnce of records and reports.

E4.5.2

2 What arrangements are in place for reporting and
recording accidents, incidents and NCR's.
E4.5.2
The organisation should maintain procedure(s) which identify who is responsible for reporting and recording basic
information form the accident / incident /NCR. Appropriate means should be used to record factual information
and the results of the immediate investigation. Where practical, non-conformities should be recorded, together
with their disposition, to assist learning and to provide data for analysis and improvement activities. The
organisation shall also consider recording information on these non-conformities that are corrected in the normal
course of work. Such data can provide valuable information for improving the effectiveness and efficiency of
processes. It should also be clearly demonstrated who has responsibility for reporting to the regulatory bodies -
HSE, local authority, environmental agency, water authority. Note; Review intent in core documents and interview
members of the workforce to determine if they are aware of the reporting system. Also, check through the
accident book.

3 What arrangements are in place for investigating The organisation shall establish and maintain documented procedure(s) to define how the investigation should be
accidents, incidents and NCR's. conducted. The procedure(s should identify; the levels of events that require investigation, the purpose of the
organisation, who is responsible for carrying out the organisation and what authority that person has, along with
their competence to carry out the investigation, the root cause of all accidents, incidents and NCR's, arrangements
E4.5.2 for witness interviews, practical issues such as the availability of cameras and storage of evidence and
implementation of corrective actions. The investigation should identify any deficiencies found within the
management systems. Note; Review intent in core document(s) and check previous accident / incident reports for
sufficient content.

4 How are accident / incident frequency rates monitored The organisation should track all accidents and incidents and calculate an accident / incident frequency rate in
accordance with accepted industrial practices for comparison purposes. Note; review intent in core document(s)
and check the availability of accident / incident frequency rates.

E4.5.2
Item Requirement E Guidance / verification CAR OBS

CHECKING AND CORRECTIVE ACTION -

4.5
Accidents, Incidents, NCR's and
corrective/preventive action
5 What arrangements are in place for evaluating the The effectiveness of the investigation and report should be assessed. The assessment should be objective and
effectiveness of accident / incident investigation yield a quantitative result if possible. Review intent in core document(s) and check evidence that reports have been
assessed.
report(s)
E4.5.2

6 Who monitors timely close-out
preventive actions
of corrective and The organisation should establish and maintain procedures that identify who has responsibility for monitoring the
effective close-out of corrective / preventive actions arising from accidents, incidents, NCR's and / or other
monitoring activities. Note; Review intent in core document(s) and check previous corrective actions for timely
close-out.
E4.5.2

7 How are the workforce informed about accidents and The root causes and mitigating corrective actions should be communicated to the entire workforce. This may be
incidents. done by briefing out the 'revised risk assessment or method statement. Note; review intent in core document(s)
and check communication channels - e-mail, notice-boards, flyers, briefings, etc.

E4.5.2

8 How are employees encouraged to report accidents and The organisation should encourage the workforce to formally report all accidents, incidents and near-misses. Note;
incidents without fear of reprisal review content in core document(s) and interview members of the workforce - management and employees to
determine how the organisation encourages the reporting of accidents and incidents.

E4.5.2
Item Requirement
CHECKING AND CORRECTIVE ACTION - E Guidance / verification CAR OBS
Records and records management 4.5
1 What arrangements are in place for identifying and The organisation should develop a documented procedure to define the controls needed for the identification,
maintaining environmental records storage, protection, retrieval, retention times and disposition of records. Records should be maintained to
demonstrate that the management system operates effectively. All records should be legible, identifiable and
traceable to the activity, product involved and maintained in such a way that they are readily retrievable and
E4.5.3 protected against damage, deterioration or loss. Their retention times should be established and recorded. Note;
Review intent in core document(s) and verify by sampling from list of records.

Training records
Inspection records
Audit reports
Accident / incident reports
Consents
Meeting minutes
Medical test reports
Health surveillance reports
PPE / RPE issue and maintenance records
Records of significant environmental impact
Records of risk assessment
Item Requirement E Guidance / verification CAR OBS

CHECKING AND CORRECTIVE ACTION - 4.5

Management System Audits
1 What process is in place for considering the activities All aspects of the management system should be audited that influence environmental performance. Note; review
and areas to be audited intent in core document(s) and check what elements have been audited in previous audits.

E4.5.4

2 How are the audits scheduled in terms of frequency. The frequency of management system audits should be related to the risks associated with failure or potential
severity of failure of the various elements of the management system. Note; review intent in core document(s) and
verify that audit schedule/plan is in place.

E4.5.4

3 What is the basis (criteria) against which the audits are The organisation shall use ISO 14001 and internal procedures as the basis for conformity. Note; Review intent in
carried out. core document(s) and verify previous audit reports.

E4.5.4

4 Who is responsible for managing and conducting the The organisation shall appoint person(s) , internal or external to carry out management system audits. Note; Review
audit intent in core document(s) and check author(s) of audit reports.

E4.5.4

5 How is auditor competency achieved / demonstrated All auditors must be competent on the basis of qualification, training and / or experience. Auditors need to
understand clearly understand their task and the workscope to be audited. The auditor should have experience and
knowledge of the relevant standards and systems they are auditing and be familiar with the applicable legislation.
Note; Review intent in core document(s) and check c.v.'s or competence assessment.
E4.5.4
Item Requirement E Guidance / verification CAR OBS

CHECKING AND CORRECTIVE ACTION - 4.5

Management System Audits
6 How can management demonstrate their commitment to For management system to be of any value, it is necessary that senior management are fully committed to the
the audit process concept of management system auditing. Senior management should consider management system audit findings and
recommendations and take appropriate action as necessary, within an appropriate time-scale. Note; review intent in
core document(s) and check previous audit reports. Also interview senior management to determine their
E4.5.4 commitment.

7 How are the results of audits communicated to relevant The results of the management system audits should be communicated to all relevant parties to allow corrective
parties actions to be taken. Where no corrective actions have been raised and the performance is good positive feedback
shall be offered. The results of audits should be sent to senior management for review and comment. Note; review
intent in core document(s) and check audit reports for distribution and check notice-boards and flyers for any key
E4.5.4
issues.
Item Requirement E Guidance / verification CAR OBS
MANAGEMENT REVIEW 4.6
1 How often are management reviews carried out Reviews should be carried out on an annual basis or at more frequent intervals if required. Note; Review intent in
core document(s) and check previous management reviews for frequency.

E4.6

2 What information is contained in the management review The review should focus on the overall management system and not on specific details. The review should address
the following issues;

E4.6

Effectiveness of current policy

Setting or updating objectives and targets to drive continual improvement.

Adequacy of hazard identification, risk assessment and control

adequacy of significance aspects identified
Current levels of risk
Adequacy of resources (financial, human and equipment)
Effectiveness of inspections
Accident / incident data
Results of internal / external audits
Foreseeable changes to legislation and / or technology
Note; Review intent in core document(s) and check contents of previous management reviews

3 Who is responsible for carrying out management reviews Senior management should carry out the management review or arrange for a competent person to carry out the
review. Note; Review intent in core document(s) and check who has written previous reports.

E4.6
Item Requirement E Guidance / verification CAR OBS
MANAGEMENT REVIEW 4.6
4 How is the management review communicated to relevant The key findings (selected output) of the management review should be communicated to all relevant parties in a
personnel in the organisation timely manner. Note; Review intent in core document(s) and check distribution of reports, minutes of meeting,
briefings, etc.

E4.6